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Annual reports 2009 - Section 2

 



 
 

In 2009 Rospatent, in accordance with the Government Resolution of November 18, 2006 № 696 “On supervision in the area of legal protection and utilization of the results of R&D of civil designation received at the expense of the Federal budget”, continued checking of organizations-parties to the state contracts in the area of legal protection and utilization of R&D results received at the expense of the Federal budget.

2.1. Supervision in the Area of Legal Protection and Utilization of R&D Received at the Expense of the Federal Budget

In 2009 Rospatent checked 31 organizations-parties to the state contracts to fulfill R&D of civil designation in six Federal districts of the Russian Federation (see Table 2.1.1).

Table 2.1.1

Distribution of the Checked Organizations by Federal Districts
of the Russian Federation

Federal District

Cities in which checks
have been carried out

Legal organization form
of the checked organizations

Number of checked
organizations

Share of the total number of
organizations checked

Central District

Moscow, Obninsk, Tula, Voronezh

Institutes of the Russian Academy of Sciences

6

Open Joint Stock Companies

3

Federal State Unitary Enterprises (FGUP)

4

State Educational Institutions of Higher
Professional Education (GOU VPO)

4

State Scientific Centers
of the Russian Federation (SSC RF)

2

Total

19

61,4%

North-West District

Saint-Petersburg, Petrozavodsk

State Educational Institutions of Higher
Professional Education (GOU VPO)

2

Institutes of the Russian Academy of Sciences

1

Federal State Unitary Enterprises (FGUP)

2

Closed Type Joint Stock Companies

1

Total

6

19,4%

By-Volga District

Nizhniy Novgorod

Institutes of the Russian Academy of Sciences

2

6,4 %

Siberian District

Tomsk

Institutes of the Russian Academy of Sciences

1

3,2%

Ural District

Yekaterinburg

Institutes of the Russian Academy of Sciences

1

3,2%

Far-East District

Vladivostok

Institutes of the Russian Academy of Sciences

2

6,4 %

Distribution of the Organizations-Executors According to Legal Type of Organizations

 

 

Among checked organizations there were 13 Russian Academy of Science institutions, 6 industrial associations, 6 federal enterprises, 4 joint stock companies.

Totally in 2009 while checking organizations, 338 state contracts were analyzed. The said contracts were requested by Rosnauka (262 contracts), Rosatom (44 contracts), Rosprom (13 contracts), Ministry of industry and trade (15 contracts), Ministry of education and science (1 contract), Ministry of industry and science (1 contract), Rosobrazovanie (1 contract), Rosavtodor (1 contract).

The total amount of checked contracts is equal to more than 17,7 bln. Roubles, including 11 bln. 347 mln. 542 thousands of Roubles of budget money and 6 bln. 376 mln. 541 thousands of Roubles of non-budget money.

While making choice among organizations to include them in plan of checking the special attention was paid to the amount and significance of contracts bringing substantial effect.

The positive aspect should be noted that the content of state contracts became compatible with legislation in effect, that is the level of legal support in formulating contracts has been raised.

The analysis of the checked contracts demonstrated that legal protection (in full scale and partially) was granted to the results of intellectual activity created within 199 state contracts. That accounts to 58,8% from the total number of contracts checked in 2009. Totally there were 196 filed applications for patents and 179 patents for inventions and utility models were granted. 27 certificates on official registration of computer programs were issued. Besides that, 129 results of intellectual activity are protected as commercial secrets (know-how). Thus, 531 results of intellectual activity were granted legal protection (in 2008 — 233 results of intellectual activity).

Table 2.1.2 contains the results of checking in 2007–2009.

Table 2.1.2

Results of Checking in 2007–2009

Indices

2007

2008

2009

Number of checked state contracts

310

365

338

Number of contracts resulted in protected objects

64

118

199

Number of contracts resulted in filing applications,
granting patents or certificates

32

44

32

Utilization of R&D results

1

6

1

The checking conducted by Rospatent demonstrates that identified violations dealt with both executors under contract, as well as the parties requested R&D.

Here is the list of most often violations of executors under state contract identified when checking in 2009:

1. Infringements of provisions of Article 773 of the Civil Code of the Russian Federation provided for the executors to make all the works under the technical assignment, including obtaining legal protection for protectable results of intellectual activity.

In 2009 the executors did not fulfill the technical assignment, including obtaining legal protection under 50 state contracts.

2. Infringements of provisions of the Government Resolution of May 4, 2005 № 284 (as amended by the Government Resolution of August 18, 2008 № 622) “On State Accounting of R&D Results of Civil Designation”.

There were cases when the executors of state contracts have not submitted the information on created protectable R&D results to ensure inclusion of such results in the Official Register.

3. Infringements of conditions of state contracts effected at the expense of the Federal budget.

In 2009 the infringements was identified in respect to fixation of rights for 101 (30%) results of intellectual activity in 24 (77%) organizations-executors of the state contracts.

During checking it was noted that executors of the checked state contracts almost in 70% of cases violated the conditions on the prompt notification on created protectable results of intellectual activity.

4. Notification as a results of intellectual activity received under the state contracts of prior intellectual property.

As a result of checking carried out in 2009 under 11 state contracts results of intellectual activity under those contracts have been received before their conclusion, that is prior intellectual property was indicated. Despite of this fact R&D results were approved.

2.2. Legal Protection of R&D the Rights for which Belong to the Russian Federation

In 2009 Rospatent continued the work on analyzing the data on obtaining the rights for intellectual property created at the expense of federal budget and fixating those rights for the Russian Federation.

As per December 31, 2009 the Russian Federation represented by competent authorities obtained the rights for 745 protectable results of intellectual activity. That figure exceeds at 321 protectable results of intellectual activity (by 75%) the indices of 2008 (424 protectable results of intellectual activity). Table 2.2.1 contains the data on distribution of protection documents among objects of intellectual property.

Table 2.2.1

Filing Applications and Issuing Patents and Certificates in the name
of the Russian Federation in 2009

Indices

Inventions

Utility models

Industrial designs

Computer programs,
topographies of integrated circuits

Total

Applications filed in 2009

319

81

94

494

Number of valid patents for inventions, utility models
and certificates for computer programs and topographies
of integrated circuit in the name of the Russian Federation as per 31.12.2009

501

149

1

94

745

issued in 2009

175

68

77

320

2.3. Utilization of R&D Results, Received at the Expense of the Federal Budget

The analysis of results of intellectual activity the rights to which belong to the Russian Federation demonstrates that in the year of 2009 only 5 (from 651) results of intellectual activity protected by patents (2 inventions and 3 utility models) were commercialized under two license contracts to which the Russian Federation has been a party.

1 result of intellectual activity (from total number of 179 patents) was commercialized received from 338 contracts checked by Rospatent in 2009 through license contract.

The reason of such low commercialization of the results of intellectual activity received at the expense of the federal budget laid in a weak legal basis.

One of the reasons is that budget organizations have no opportunity to dispose the profits received from the use of rights to the results of intellectual activity obtained at the expense of the Federal budget.

Certainly, the enactment of the Federal Law of 02.08.2009 № 217-FZ “On amendments to some legislative acts of the Russian Federation on issues of establishing by budget science and educational organizations of the business entities in order to practical application of results of intellectual activity” (hereinafter referred to as the Law) launched the process of formation of the legal environment for commercialization of the results of intellectual activity obtained by budget science and educational organizations.

The Law is aimed at stimulation of the above mentioned organizations for practical use of the results of intellectual activity, exclusive rights to which belong to those organizations, by including the results of intellectual activity into charter capital of business entities.

The Law allows using the profit received by those budget science and educational organizations as a result of establishing business entities for legal protection of the budget science and educational organizations, to pay royalties to authors, as well as for the charter activity of those science organizations.

It should be noted, that budget science and educational organizations are creating 30% of the protectable results of intellectual activity (in 2009 budget science and educational organizations filed 11789 applications for patents for inventions, utility models and industrial designs from total number of 38298 applications filed by Russian applicants).

The other important reason of low level of commercialization of the results of intellectual activity is the absence of due control over implementation the state R&D contracts, especially while obtaining rights and commercializing the results of intellectual activity, received at the expense of the Federal budget.

Elimination of those reasons is possible through strengthening the responsibility of the organizations executing state contracts for correct implementation of contracts, and of the organizations requested those R&D for due control, ensuring legal protection of the results of intellectual activity, received at the expense of the Federal budget, utilization of them in civil turnover, as well as to stimulate authors to conclude separate contracts with their employers to define the amount and procedures of remuneration related to ensuring legal protection and utilization of the received results.

2.4. Implementation of Directives of Rospatent

In the results of checking carried out in 2009 the Acts of checking results were prepared and the checked organizations were posted 31 directives on lifting the identified violations. Besides that, the notifications were sent to the federal authorities supervising checked organizations.

Twenty checked organizations submitted reports in due time on lifting identified violations. The submitted reports demonstrated that the identified violations have been lifted. The implementation of the rest 11 directives is under the control of Rospatent. The work on lifting violations is being continued with organizations concerned.

The reports of organizations submitted in 2009 on implementation of directives demonstrated that additionally 44 applications for patents for inventions, 7 applications for patents for utility models were filed, 2 computer programs were registered and 12 results of intellectual activity obtained the legal protection as commercial secrets. Thus, in 2009 the checking resulted in that 65 of the results of intellectual activity obtained legal protection (40 the results of intellectual activity in 2008).

Rospatent controlled the area of legal protection and utilization of the results of intellectual activity related to critical technologies, in particular in the area of nano-materials and nano-technologies.

In 2009 111 (33%) state contracts were checked. Those contracts were aimed at carrying out works in the area of nanotechnologies to be resulted in 164 of protectable results.

However, the measures to ensure the legal protection have been taken in respect to only 117 the results of intellectual activity (71,3%), including 45 (38,8%) with violations of the provisions of state contracts in respect to obtaining rights for the results of intellectual activity.

The absence of legal protection impeded to protect the Russian producers against big importers even on internal market. As the Russian market of nano-technologies is developing and taking into account the interests of Russian producers there could appear serious competitors with new technologies.

Taking into account that Rospatent took a decision while planning the checking for 2010 to attach the special attention to the organizations fulfilling R&D in nano area.

In 2009 Rospatent continued joint work with the Office of General Prosecutor and took part in 5 complex checking, in particular: Ministry of finance, Moscow medical academy named after I.M. Sechenov, Russian agro academy, Federal space agency and Fund of facilitating the activity of SMEs.

The practice of checking demonstrated that there is a necessity to establish a unified mechanism of control in the area of intellectual property, created under state contracts, to ensure:

  • clarified responsibilities of the parties to the contracts to ensure legal protection, state control and utilization of the results of intellectual activity, as well as conducting patent studies;
  • establishing the procedure of control over state organizations requested R&D in the area of legal protection and utilization of the results of intellectual activity, received at the expense of the federal budget.

2.5. Information and Promotion Activity on Fulfilling by Rospatent the Function Incurred by the State on Supervision in the Area of Legal Protection and Utilization of the Results of Intellectual Activity of Civil Destination

In 2009 Rospatent continued practice of holding meetings with organizations executing state contracts and organizations requested R&D on issues of legal protection and utilization of R&D of civil destination, realized at the expense of the Federal budget.

Taking into account that Rosnauka is the main organization requested R&D of civil destination and its activity should be the basis for effectiveness of R&D under the state contracts, there was a decision taken to hold such a meeting with its representatives.

The meeting with the representatives of organizations executing state contracts took place in Rospatent with participation of Rosnauka, and the meeting with organizations requesting R&D took place in Rosnauka with participation of Rospatent.

During the meetings the issues of legal protection and utilization of the results of intellectual activity, received as a result of state contracts, accounting those results as intangible assets etc. have been in the focus of discussions.

Separate attention of Rospatent was attached to issues related to dissemination of information of the checking carried out on identified violations at conferences, seminars, exhibitions and other forums, as well as through placing this information on official web site of Rospatent.

While checking the organizations executing state contracts Rospatent is carrying out the consultative work and rendering methodological assistance aimed at facilitating the activity of checked organizations in the area of legal protection and utilization of the results of intellectual activity.



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